Investor Advisory Committee Meeting, Friday, September 28, 2012, 10:00 a.m.
Securities and Exchange Commission Investor Advisory Committee will hold a meeting on Friday, September 28, 2012, in Multi-Purpose Room LL-006 at the Commission’s headquarters, 100 F Street, N.E., Washington, DC. The meeting will begin at 10:00 a.m. (EDT) and will be open to the public. Seating will be on a first-come, first-served basis. Doors will open at 9:30 a.m. Visitors will be subject to security checks. The meeting will be webcast on the Commission’s website at www.sec.gov.
On September 7, 2012, the Commission issued notice of the Committee meeting (Release No. 33-9358), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. This Sunshine Act notice is being issued because a quorum of the Commission may attend the meeting.
The agenda for the meeting includes introductory remarks from Commissioners; introductory remarks from Committee officers; and reports from the four Investor Advisory Committee subcommittees (the Investor as Owner subcommittee, the Investor as Purchaser subcommittee, the Investor Education subcommittee, and the Market Structure subcommittee).
For further information, please contact the Office of the Secretary at (202) 551-5400.
SEC Extends Temporary Municipal Advisor Registration Rule
On September 21, 2012, the Commission amended interim final temporary Rule 15Ba2-6T by extending the expiration date of that rule and Form MA-T, which provide a method for municipal advisors to temporarily satisfy the registration requirement under the Securities Exchange Act of 1934. Without the twelve-month extension, the rule and form would expire on September 30, 2012. The extension will allow municipal advisors to continue to temporarily satisfy the statutory registration requirement until the Commission promulgates a final rule that establishes another manner of registration of municipal advisors, prescribes a form for such purpose, and develops an electronic registration system. Publication of the extension is expected in the Federal Register during the week of September 24. (Rel. 34-67901)
Commission Permanently Disqualifies Accountant Michael C. Pattison from Appearing or Practicing Before the Commission Following the Entry of a Permanent Injunction
The Commission has permanently disqualified Michael C. Pattison, an accountant and former Controller of Embarcadero Technologies, Inc., from appearing or practicing before it as an accountant pursuant to Rule of Practice 102(e)(3). The Commission found that Pattison had been permanently enjoined by the United States District Court for the Northern District of California after a jury found that Pattison violated Section 13(b)(5) of the Securities Exchange Act of 1934 and Exchange Act Rule 13b2-1 in connection with Pattison's involvement in backdating stock options. The District Court had found that Pattison acted knowingly when he falsified records and circumvented internal controls to make it appear that no stock option grants were backdated and below fair market value. The Commission found that it was in the public interest and necessary to preserve the integrity of its processes to permanently disqualify Pattison from practice before the Commission. The Commission also found that the sanction is remedial because it will prevent Pattison and deter others from disregarding their professional responsibilities and protect the investing public by encouraging reliable corporate disclosure and accountability through accurate recordkeeping and diligent compliance with internal accounting controls. (Rel. 34-67900; AAE Rel. 3407; File No. 3-14323)
In the Matter of Stock Markets Institute, Inc. and Sergey Perminov
On September 21, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 (Advisers Act), Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Stock Markets Institute, Inc. (SMI) and Sergey Perminov (Perminov). The Order finds that SMI, a registered investment adviser and on-line financial newsletter publisher that provides a service commonly referred to as “auto-trading,” misrepresented and omitted to state material facts regarding the returns achieved by certain of its newsletters in 2008 and 2009. Perminov is the founder, president, and 80% owner of SMI and manages the operations of SMI. SMI publishes several paid subscription newsletters, including, during 2008, QQQQ Picks, and during 2009, QQQQ Picks and QQQQ Enhanced Picks. The Order finds that SMI inflated its 2008 performance results for the QQQQ Picks newsletter by failing to disclose a number of trade alerts that resulted in significant losses. The Order also finds that SMI inflated its number of winning trades in 2009 for the QQQQ Picks and QQQQ Enhanced Picks newsletters by reporting trades made by different broker-dealers in connection with a single winning trade alert as separate trades where the broker-dealers obtained different prices when executing that trade alert. SMI also failed to disclose trade alerts that resulted in losses.
Based on the above, the Order censures SMI and Perminov and requires them to cease and desist from committing or causing any violations and any future violations of Sections 206(2) and 206(4) of the Advisers Act and Rules 206(4)-1(a)(2) and (5) thereunder. The Order also requires Perminov to pay a civil penalty in the amount of $40,000 and requires SMI to pay a civil penalty in the amount of $75,000, for which Perminov is jointly and severally liable. The Order also requires SMI to comply with certain Undertakings, including making available to current and potential subscribers the complete performance histories for all of its newsletters; establishing internal procedures and controls reasonably designed to ensure the accuracy of SMI’s representations regarding the performance of its trading; and retaining an independent compliance consultant to perform annual reviews of SMI’s internal controls, policies and procedures, performance representations, and advertising materials for compliance with the Advisers Act for a period of two years. SMI and Perminov each consented to the issuance of the Order without admitting or denying any of the findings in the Order. In determining to accept their offers of settlement, the Commission considered remedial acts undertaken by SMI. (Rel. IA-3473; File No. 3-15038)
SEC Charges Oregon-Based Hedge Fund Manager With Running $37 Million Ponzi Scheme
On September 20, 2012, the Securities and Exchange Commission filed fraud charges against a Portland, Oregon-based investment adviser who perpetrated a long-running Ponzi scheme that raised over $37 million from more than 100 investors in the Pacific Northwest and across the country.
The SEC alleges that Yusaf Jawed and two entities he controlled (Grifphon Asset Management LLC and Grifphon Holdings LLC) used false marketing materials that boasted double-digit returns to lure people to invest their money into several hedge funds he managed. He then improperly redirected their money into accounts he personally controlled. As part of the scheme, Jawed created phony assets, sent bogus account statements to investors, and manufactured a sham buyout of the funds to make investors think their hedge fund interests would soon be redeemed. Jawed misused investor money to pay off earlier investors, pay his own expenses and travel, and create the overall illusion of success and achievement to impress investors.
The SEC’s complaint against Jawed additionally charges Robert P. Custis, an attorney who Jawed hired to assist him in the fraud. Custis sent false and misleading statements to investors about the status of a purported buyout of the Grifphon funds’ assets. Custis consistently misrepresented that this purchase was imminent and would result in investors’ investments being repaid at a profit.
The SEC filed separate complaints against two others connected to Jawed’s scheme. Those complaints allege that Jacques Nichols – a Portland-based attorney – falsely claimed to investors that an independent third party would pay tens of millions of dollars to buy the hedge funds’ alleged assets at a premium, and that Jawed’s associate, Lyman Bruhn, of Vancouver, Wash., ran a separate Ponzi scheme and induced investments through false claims he was investing in “blue chip” stocks. Nichols, Bruhn, and two entities Bruhn controlled (Pearl Asset Management LLC and Sasquatch Capital Management, LLC) agreed to settle the SEC’s charges without admitting or denying the allegations by consenting to entry of permanent injunctions against violations of the antifraud provisions of the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 and other relief.
[SEC v. Yusaf Jawed, Grifphon Asset Management, LLC, Grifphon Holdings, LLC, and Robert P. Custis, Civil Action No. 12-1696 (U.S. District Court for the District of Oregon; SEC v. Jacques Nichols, Civil Action No. 12-1698 (U.S. District Court for the District of Oregon; SEC v. Lyman Bruhn, Pearl Asset Management, LLC, and Sasquatch Capital Management, LLC, Civil Action No. 12-1697 (U.S. District Court for the District of Oregon] (LR-22487)
Pruco Life Insurance Company, et al.
An order has been issued pursuant to Sections 26(c) and 17(b) of the Investment Company Act of l940, as amended (the “1940 Act”) on an application filed by Pruco Life Insurance Company (“Pruco Life”), Pruco Life Flexible Premium Variable Annuity Account (“Pruco Life Variable Annuity Account”), Pruco Life Insurance Company of New Jersey (“Pruco Life of New Jersey”), Pruco Life of New Jersey Flexible Premium Variable Annuity Account (“PLNJ Variable Annuity Account”), Prudential Annuities Life Assurance Corporation (“Prudential Annuities”), Prudential Annuities Life Assurance Corporation Variable Account B (“Variable Account B”), Allstate Life Insurance Company (“Allstate Life”), Allstate Financial Advisors Separate Account I (“Separate Account I”), Allstate Life Insurance Company of New York (“Allstate New York” and collectively with Pruco Life, Pruco Life of New Jersey, Prudential Annuities and Allstate Life, the “Insurance Companies”), Allstate Life of New York Separate Account A (“Separate Account A” and collectively with Pruco Life Variable Annuity Account, PLNJ Variable Annuity Account, Variable Account B and Separate Account I, the “Separate Accounts”), and Advanced Series Trust (“AST”). The order permits the Insurance Companies and the Separate Accounts to substitute the shares of AST Franklin Templeton Founding Funds Allocation Portfolio for shares of the Franklin Templeton VIP Founding Funds Allocation Fund, a series of Franklin Templeton Variable Insurance Products Trust, held by the Separate Accounts to fund certain individual variable annuity contracts issued by the Insurance Companies. The order also exempts Pruco Life, Pruco Life of New Jersey, Prudential Annuities, Pruco Life Variable Annuity Account, PLNJ Variable Annuity Account, Variable Account B and AST from Section 17(a) of the l940 Act to the extent necessary to permit them to engage in certain in-kind transactions in connection with the substitution. (Rel. IC-30209 - September 20)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2012-089) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67893)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-BATS-2012-033), as modified by Amendment No. 1 thereto, submitted by BATS Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the iShares Short Maturity Bond Fund. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67894)
Proposed Rule Changes
NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2012-47) pursuant to Section 19(b)(1) of the Securities Exchange Act to amend the NYSE Amex Options LLC Members Agreement to empower the Volume Dispute Committee to establish principles for determining whether the Exchange has experienced a bona fide systems problem and to adjust certain volume measurements accordingly. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67895)
The Options Clearing Corporation filed a proposed rule change (SR-OCC-2012-17) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the margining of segregated futures customer accounts on a gross basis. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67896)
NYSE MKT LLC filed a proposed rule change and Amendment No. 1 (SR-NYSEMKT-2012-42) under Section 19(b)(1) of the Securities Exchange Act of 1934 Amending Rule 903(h) and related Commentary .10 to expand the number of expirations available under the Short Term Option Series Program (“STOS Program”), to allow for the Exchange to delist any series in the STOS that do not have open interest and to expand the number of series in STOS under limited circumstances. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67897)
NYSE Arca, Inc. filed a proposed rule change and Amendment No. 1 (SR-NYSEARCA-2012-95) under Section 19(b)(1) of the Securities Exchange Act of 1934 amending Commentary .07 to NYSE Arca Options Rule 6.4 to expand the number of expirations available under the Short Term Option Series Program (“STOS Program”), to allow for the Exchange to delist any series in the STOS that do not have open interest and to expand the number of series in STOS under limited circumstances. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67898)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
N-2 FIRST TRUST DIVERSIFIED SHORT DURATION FUND, 120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 1,000 ($20,000.00) Equity, (File 333-183996 - Sep. 20) (BR. 18) S-1 MATTRESS FIRM HOLDING CORP., C/O MATTRESS HOLDING CORP, 5815 GULF FREEWAY, HOUSTON, TX, 77023, (713) 923-1090 - 0 ($175,463,880.00) Equity, (File 333-183997 - Sep. 20) (BR. 02) S-4 VALIDUS HOLDINGS LTD, 29 RICHMOND ROAD, PEMBROKE, D0, HM08, 441-278-9000 - 14,500,000 ($486,731,712.83) Equity, (File 333-183999 - Sep. 20) (BR. 01B) S-8 VALASSIS COMMUNICATIONS INC, 19975 VICTOR PARKWAY, LIVONIA, MI, 48152, 3135913000 - 1,438,116 ($39,044,849.00) Equity, (File 333-184000 - Sep. 20) (BR. 11A) S-4 GENESIS ENERGY LP, 919 MILAM, SUITE 2100, HOUSTON, TX, 77002, 7138602500 - 0 ($100,000,000.00) Non-Convertible Debt, (File 333-184001 - Sep. 20) (BR. 04B) S-8 OLD NATIONAL BANCORP /IN/, ONE MAIN ST, EVANSVILLE, IN, 47708, 8124641434 - 157,086 ($2,189,778.84) Equity, (File 333-184002 - Sep. 20) (BR. 07C) S-8 TRULIA, INC., 116 NEW MONTGOMERY STREET, SUITE 300, SAN FRANCISCO, CA, 94105, (415) 648-4358 - 6,112,904 ($61,624,552.80) Equity, (File 333-184003 - Sep. 20) (BR. 03A) S-8 CELL THERAPEUTICS INC, 3101 WESTERN AVENUE, SUITE 600, SEATTLE, WA, 98121, 2062827100 - 0 ($8,700,000.00) Equity, (File 333-184004 - Sep. 20) (BR. 01A) S-8 ACTUATE CORP, 951 MARINERS ISLAND BOULEVARD, SAN MATEO, CA, 94404, 650.645.3000 - 600,000 ($4,206,000.00) Equity, (File 333-184005 - Sep. 20) (BR. 03C) S-11 Bluerock Enhanced Multifamily Trust, Inc., 680 5TH AVENUE, 16TH FLOOR, NEW YORK, NY, 10019, (212) 843-1601 - 0 ($1.00) Equity, (File 333-184006 - Sep. 20) (BR. 08C)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- AAR CORP DE 2.02,9.01 09/20/12 ACACIA RESEARCH CORP DE 8.01 09/18/12 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 09/20/12 ADT Corp DE 5.02,5.03,9.01 09/14/12 ADVANCED CELL TECHNOLOGY, INC. DE 1.01,3.02,8.01,9.01 09/19/12 AIR LEASE CORP DE 8.01,9.01 09/20/12 ALEXANDERS J CORP TN 5.01,5.02,8.01,9.01 09/19/12 ALLBRITTON COMMUNICATIONS CO DE 1.01,9.01 09/14/12 Ally Auto Receivables Trust 2012-SN1 DE 1.01,8.01,9.01 09/19/12 American Electric Technologies Inc FL 8.01,9.01 09/19/12 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 3.02,9.01 09/05/12 AMERICAN SCIENCE & ENGINEERING, INC. MA 5.02 09/17/12 AmeriCredit Automobile Receivables Tr 8.01,9.01 09/20/12 AMREP CORP. OK 5.03,5.07,9.01 09/19/12 ANGIOTECH PHARMACEUTICALS INC 2.04,8.01,9.01 09/17/12 APOGEE ENTERPRISES, INC. MN 2.02,9.01 09/19/12 Apollo Medical Holdings, Inc. DE 2.02,9.01 09/14/12 Approach Resources Inc DE 1.01,9.01 09/19/12 ARCHER DANIELS MIDLAND CO DE 7.01 09/20/12 Ascena Retail Group, Inc. DE 2.02,9.01 09/19/12 Ascent Solar Technologies, Inc. DE 1.01,8.01,9.01 09/19/12 Aspect FuturesAccess LLC DE 3.02 09/17/12 ASSISTED LIVING CONCEPTS INC NV 8.01 09/13/12 AVALONBAY COMMUNITIES INC MD 5.03,7.01,9.01 09/19/12 BBCN BANCORP INC DE 5.03,9.01 09/14/12 Beacon Federal Bancorp, Inc. MD 5.07,8.01,9.01 09/20/12 Bizzingo, Inc. NV 5.02,7.01,8.01,9.01 09/15/12 BlueLinx Holdings Inc. DE 1.01,8.01,9.01 09/19/12 BNC BANCORP NC 1.01,9.01 09/19/12 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 09/20/12 Bristow Group Inc DE 7.01,9.01 09/20/12 CALPINE CORP DE 8.01,9.01 09/20/12 Carey Watermark Investors Inc 9.01 07/09/12 AMEND CARMAX INC VA 2.02,9.01 09/20/12 CEF EQUIPMENT HOLDING LLC DE 1.01,9.01 09/16/12 Celanese Corp DE 7.01,9.01 09/20/12 CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 09/19/12 CH2M HILL COMPANIES LTD DE 8.01 09/14/12 Chanticleer Holdings, Inc. DE 7.01,9.01 09/20/12 Cheniere Energy Partners, L.P. DE 7.01,9.01 09/20/12 CHILDRENS PLACE RETAIL STORES INC 5.02 08/22/12 China Growth Equity Investment Ltd E9 3.01 09/14/12 ChromaDex Corp. DE 7.01,9.01 09/20/12 CHURCHILL DOWNS INC KY 7.01,9.01 09/20/12 CINTAS CORP WA 2.02,9.01 09/20/12 CIRRUS LOGIC INC DE 5.02 09/14/12 CLARCOR INC. DE 2.02,9.01 09/19/12 COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 09/17/12 COLOMBIA ENERGY RESOURCES, INC. DE 2.04,5.02 09/14/12 Colony Financial, Inc. MD 1.01,9.01 09/17/12 COMMUNICATION INTELLIGENCE CORP DE 1.01,3.02,7.01,9.01 09/14/12 CONAGRA FOODS INC /DE/ DE 2.02,9.01 09/20/12 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 09/20/12 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 09/14/12 CU Bancorp CA 7.01,9.01 09/19/12 CVS CAREMARK CORP DE 8.01,9.01 09/19/12 CYBERONICS INC DE 5.07 09/20/12 CYCLONE POWER TECHNOLOGIES INC FL 2.01,7.01,9.01 09/20/12 CYCLONE POWER TECHNOLOGIES INC FL 7.01,9.01 09/20/12 DecisionPoint Systems, Inc. 5.02 09/14/12 DENBURY RESOURCES INC DE 7.01,9.01 09/20/12 DERMA SCIENCES, INC. PA 1.01,3.03,5.03,9.01 09/14/12 Diamond Resorts Corp MD 7.01,9.01 09/20/12 Digital Cinema Destinations Corp. DE 2.02,9.01 09/20/12 Digital Domain Media Group, Inc. FL 1.01,2.03,9.01 09/12/12 DISCOVERY LABORATORIES INC /DE/ DE 5.02 09/14/12 DNA PRECIOUS METALS INC. NV 8.01 09/14/12 DRAVCO MINING INC NV 7.01,9.01 09/19/12 DynaVox Inc. 2.02,9.01 09/20/12 E-Debit Global Corp. CO 5.07,9.01 09/12/12 ECO Building Products, Inc. CO 8.01 09/19/12 ECOLAB INC DE 5.02,9.01 09/20/12 EDELMAN FINANCIAL GROUP INC. TX 2.01,3.01,3.03,5.01, 09/20/12 5.02,5.03,9.01 EFL OVERSEAS, INC. NV 1.01 09/14/12 ELEPHANT TALK COMMUNICATIONS CORP DE 8.01,9.01 09/19/12 Emergency Medical Services CORP DE 2.02,7.01,9.01 09/20/12 ENTREMED INC DE 5.03,9.01 09/14/12 Erickson Air-Crane Inc DE 5.02 09/17/12 EVERTEC, LLC PR 8.01,9.01 09/19/12 Federal Home Loan Bank of Atlanta X1 2.03 09/17/12 Federal Home Loan Bank of Boston X1 2.03 09/17/12 Federal Home Loan Bank of Chicago X1 2.03 09/17/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/17/12 Federal Home Loan Bank of Des Moines X1 5.02,7.01,9.01 09/20/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/20/12 Federal Home Loan Bank of New York X1 2.03,9.01 09/17/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/17/12 Federal Home Loan Bank of San Francis X1 2.03 09/17/12 Federal Home Loan Bank of Topeka 2.03,9.01 09/17/12 FIDELITY SOUTHERN CORP GA 2.02,9.01 09/20/12 Fiesta Restaurant Group, Inc. DE 5.02,9.01 09/20/12 First Bancorp, Inc /ME/ ME 8.01 09/20/12 Ford Credit Floorplan Master Owner Tr DE 1.01,9.01 09/19/12 Ford Credit Floorplan Master Owner Tr DE 1.01,9.01 09/19/12 FORTUNE INDUSTRIES, INC. DE 1.01,9.01 09/19/12 FRONTIER COMMUNICATIONS CORP DE 7.01 09/20/12 GBS Enterprises Inc NV 5.03 09/19/12 GE Equipment Midticket LLC, Series 20 DE 9.01 09/19/12 GENERAC HOLDINGS INC. DE 5.02 09/20/12 GENERAL CABLE CORP /DE/ DE 7.01,9.01 09/20/12 GMX RESOURCES INC OK 1.01,2.03,3.02,8.01, 09/18/12 9.01 GOLDEN ENTERPRISES INC DE 8.01,9.01 09/20/12 GOOD TIMES RESTAURANTS INC NV 3.03,5.03,5.07,9.01 09/14/12 Graystone Co DE 8.01 09/20/12 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 09/19/12 GREENTECH MINING INTERNATIONAL, INC. DE 1.01,5.06,9.01 09/19/12 AMEND GroveWare Technologies Ltd. NV 3.03,5.03 09/17/12 Hatteras Financial Corp 5.02 09/17/12 Highbridge Commodities FuturesAccess DE 3.02 09/17/12 Hilltop Holdings Inc. MD 5.07 09/20/12 HORIZON PHARMA, INC. DE 8.01,9.01 09/20/12 HORIZON PHARMA, INC. DE 8.01,9.01 09/20/12 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 09/19/12 HOVNANIAN ENTERPRISES INC DE 8.01,9.01 09/20/12 IDENIX PHARMACEUTICALS INC DE 7.01,9.01 09/20/12 IGATE CORP PA 5.02,9.01 09/17/12 IHS Inc. DE 2.02,9.01 09/20/12 IMAGE ENTERTAINMENT INC DE 5.03,5.07,7.01,9.01 09/19/12 IMAGING3 INC CA 1.03,5.02 09/11/12 INDEPENDENT BANK CORP MA 8.01 09/20/12 InspireMD, Inc. DE 5.02 09/16/12 INTEGRATED SILICON SOLUTION INC DE 2.01,9.01 09/14/12 INTELSAT S.A. N4 8.01 09/20/12 INTERLEUKIN GENETICS INC DE 5.02,9.01 09/14/12 INTL FCSTONE INC. DE 1.01,9.01 09/18/12 InvenSense Inc DE 5.07 09/14/12 INVESTORS REAL ESTATE TRUST ND 5.07 09/18/12 ITERIS, INC. DE 5.07 09/14/12 JANEL WORLD TRADE LTD NV 1.01,2.03,9.01 09/20/12 JEFFERIES GROUP INC /DE/ DE 2.02,9.01 09/20/12 JONES GROUP INC PA 8.01,9.01 09/20/12 JONES GROUP INC PA 2.02,7.01 09/20/12 JONES GROUP INC PA 8.01,9.01 09/20/12 KONA GRILL INC DE 1.01,9.01 09/14/12 Landmark Apartment Trust of America, 2.01,2.03,9.01 08/28/12 AMEND Liberty Global, Inc. DE 7.01 09/19/12 LifeCare Holdings, Inc. DE 1.01,2.03,9.01 09/14/12 LTV CORP DE 8.01,9.01 08/31/12 LVB Acquisition, Inc. 8.01,9.01 09/18/12 Mandalay Digital Group, Inc. DE 5.02,9.01 09/14/12 Manhattan Bancorp CA 1.01,5.02,9.01 09/14/12 MANHATTAN BRIDGE CAPITAL, INC NY 8.01,9.01 09/19/12 Marathon Petroleum Corp DE 1.01,1.02,2.03,9.01 09/14/12 MARCUS CORP WI 2.02,9.01 09/20/12 MASTERCARD INC DE 7.01,9.01 09/20/12 MATTRESS FIRM HOLDING CORP. DE 7.01,9.01 09/20/12 MESA LABORATORIES INC /CO CO 5.07 09/14/12 METRO BANCORP, INC. 5.02,9.01 09/17/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 09/20/12 ML Transtrend DTP Enhanced FuturesAcc DE 3.02 09/17/12 ML Winton FuturesAccess LLC DE 3.02 09/17/12 MRC GLOBAL INC. DE 8.01,9.01 09/20/12 NeuroMetrix, Inc. DE 8.01,9.01 09/19/12 Neutral Tandem Inc 5.02,9.01 09/17/12 NEW FRONTIER MEDIA INC CO 5.02,9.01 09/15/12 NEW PEOPLES BANKSHARES INC VA 2.03,9.01 09/19/12 NEWS CORP 8.01,9.01 09/20/12 Noble Corp / Switzerland V8 1.01,9.01 09/19/12 ONE LIBERTY PROPERTIES INC MD 7.01,9.01 09/20/12 ONE LIBERTY PROPERTIES INC MD 8.01 07/12/12 AMEND ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,3.02,5.02,9.01 09/19/12 OPLINK COMMUNICATIONS INC DE 8.01 09/19/12 AMEND ORACLE CORP 2.02,8.01,9.01 09/20/12 Orexigen Therapeutics, Inc. DE 7.01,9.01 09/20/12 Ortus Currency FuturesAccess LLC DE 3.02 09/17/12 OXYGEN BIOTHERAPEUTICS, INC. DE 2.02,9.01 09/19/12 Palo Alto Networks Inc DE 5.02,9.01 09/18/12 PENN TREATY AMERICAN CORP PA 5.02 09/17/12 Pentair Ltd. V8 5.02,5.03,8.01,9.01 09/14/12 PETROSONIC ENERGY, INC. 7.01,9.01 09/18/12 PFSWEB INC DE 1.01,9.01 09/19/12 Pinnacle Foods Finance LLC DE 8.01 09/20/12 PLAINSCAPITAL CORP TX 5.07 09/20/12 PMI GROUP INC DE 7.01,9.01 09/20/12 POKERTEK, INC. NC 3.02,5.07 09/18/12 Powder River Coal Corp. FL 3.02 09/19/12 PPL Corp 7.01,8.01,9.01 09/19/12 Punchline Resources Ltd. NV 1.01,9.01 09/14/12 PyroTec, Inc. DE 1.01,2.01,5.03,8.01, 06/05/12 9.01 RAINBOW INTERNATIONAL, CORP. NV 9.01 03/26/12 AMEND RANCHER ENERGY CORP. NV 1.03 09/10/12 AMEND RESEARCH FRONTIERS INC DE 7.01,9.01 09/20/12 RICKS CABARET INTERNATIONAL INC TX 1.01,2.01,9.01 09/17/12 RITE AID CORP DE 2.02,9.01 09/20/12 RLJ Acquisition, Inc. NV 5.07,8.01,9.01 09/20/12 Rock Energy Resources, Inc. DE 1.01,5.02,7.01,9.01 09/18/12 Rockville Financial, Inc. /CT/ CT 7.01,9.01 09/20/12 RVUE HOLDINGS, INC. NV 3.02,5.01,9.01 09/20/12 Santa Fe Petroleum, Inc. DE 5.02,8.01 09/20/12 SCHOLASTIC CORP DE 2.02,9.01 09/20/12 SEARS HOLDINGS CORP DE 5.02,9.01 09/15/12 SECURITY NATIONAL FINANCIAL CORP UT 5.02 09/14/12 Sequoia Mortgage Trust 2012-4 8.01,9.01 09/20/12 Shengkai Innovations, Inc. FL 2.02,9.01 09/20/12 SIMMONS FIRST NATIONAL CORP AR 1.01,2.01,7.01,9.01 09/14/12 AMEND SKYWORKS SOLUTIONS, INC. DE 7.01,9.01 09/20/12 SLM Student Loan Trust 2012-6 DE 9.01 09/13/12 SLM Student Loan Trust 2012-6 DE 1.01,2.01,9.01 09/09/12 SMART ONLINE INC DE 5.02,9.01 09/11/12 AMEND SMITH MIDLAND CORP DE 5.02,5.07,8.01,9.01 09/12/12 AMEND Solar Power, Inc. CA 2.01,9.01 06/27/12 AMEND SOUTHCOAST FINANCIAL CORP SC 7.01 09/19/12 SOUTHERN COMMUNITY FINANCIAL CORP 5.07,9.01 09/19/12 SOUTHERN STATES SIGN Co NV 5.01 09/13/12 SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 09/19/12 SPECTRUM GROUP INTERNATIONAL, INC. DE 8.01,9.01 09/20/12 SquareTwo Financial Corp DE 7.01,9.01 09/20/12 STERLING FINANCIAL CORP /WA/ WA 8.01 09/19/12 STONE ENERGY CORP DE 7.01,9.01 09/20/12 STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,3.02,7.01, 09/14/12 9.01 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 09/17/12 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 09/17/12 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 09/17/12 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 09/17/12 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 09/17/12 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 09/17/12 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 09/17/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/17/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/17/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/17/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 09/17/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 09/17/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01 09/18/12 SUFFOLK BANCORP NY 1.01,3.02,9.01 09/18/12 SUNESIS PHARMACEUTICALS INC DE 8.01,9.01 09/20/12 SUNPOWER CORP DE 3.01 09/14/12 SYCAMORE NETWORKS INC DE 2.02,8.01,9.01 09/20/12 SYNERGY PHARMACEUTICALS, INC. DE 1.01 09/14/12 T3 Motion, Inc. DE 1.01,2.03,9.01 09/14/12 TAMPA ELECTRIC CO FL 8.01,9.01 09/19/12 Texas Rare Earth Resources Corp. DE 1.01,5.02 09/20/12 TGC INDUSTRIES INC TX 1.01,2.03 09/16/12 THERMOGENESIS CORP DE 2.02,9.01 09/20/12 TIBCO SOFTWARE INC DE 2.02,9.01 09/20/12 TSIC, Inc. DE 7.01,9.01 09/18/12 Twin Cities Power Holdings, LLC MN 1.01,3.02 09/17/12 TWO RIVERS WATER Co CO 7.01 09/20/12 U.S. Auto Parts Network, Inc. DE 5.02,9.01 09/18/12 Uni-Pixel DE 8.01,9.01 09/20/12 UNITED THERAPEUTICS Corp DE 7.01,9.01 09/20/12 UNITIL CORP NH 5.02,9.01 09/19/12 USAA Auto Owner Trust 2012-1 8.01,9.01 09/19/12 usell.com, Inc. DE 5.03,9.01 09/14/12 Vanguard Energy Corp CO 5.07 09/13/12 Vanity Events Holding, Inc. DE 1.01,2.03,5.02,9.01 09/14/12 VelaTel Global Communications, Inc. NV 3.02 09/20/12 VERIFY SMART CORP. NV 1.01,1.02,9.01 09/19/12 VERTEX PHARMACEUTICALS INC / MA MA 5.02 09/14/12 VIASAT INC DE 5.02,5.07,9.01 09/20/12 VISION SCIENCES INC /DE/ DE 1.01,2.03,9.01 09/18/12 WASTE CONNECTIONS, INC. DE 1.01 09/16/12 WET SEAL INC DE 3.03,5.02,8.01,9.01 09/18/12 WILLIAMS COMPANIES INC DE 5.02 09/17/12 Wizard World, Inc. DE 1.01,2.01,3.02,5.01, 12/07/10 AMEND 5.02,5.03,5.06,9.01 Woodward, Inc. DE 8.01,9.01 09/19/12 Zeltiq Aesthetics Inc DE 5.02 09/14/12 Zeltiq Aesthetics Inc DE 5.07 06/15/12 AMEND